Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Wisconsin-based Stifel Nicolaus & Company broker/adviser Robert Shirley has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Shirley (CRD# 2021090).
Robert Shirley has spent 29 years in the securities industry and has been registered with Stifel Nicolaus & Company in Mequon, Wisconsin since 2007. Previous registrations include RBC Dain Rauscher in Milwaukee, Wisconsin (1998-2007); Piper Jaffray in Minneapolis, Minnesota (1992-1998); MetLife Securities in Springfield, Massachusetts (1990-1992); and Metropolitan Life Insurance Company in New York, New York (1990-1992). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 27, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1990; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 4, 2003; Series 7 (General Securities Representative Examination), which he obtained on January 29, 1992; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 1, 1990. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Florida, Georgia, Illinois, Iowa, Maryland, North Carolina, Oregon, Pennsylvania, Texas, Virginia, Washington, and Wisconsin.
According to his BrokerCheck report, he has received three customer complaints and one denied customer complaint.
In March 2019 a customer alleged Robert Shirley, while employed at Stifel Nicolaus & Company, provided advice and recommendations that resulted in losses. The customer sought $180,242 in damages in the complaint, which was denied.
In 2009 a customer alleged Robert Shirley, while employed at Stifel Nicolaus & Company, executed an unauthorized transaction and made unsuitable investments. The complaint settled for $8,605.
In 2007 a customer alleged Robert Shirley, while employed at RBC Dain Rauscher, made an unauthorized purchase and misrepresented material facts. The complaint settled for $7,050.
In 2003 a customer alleged he, while employed at RBC Dain Rauscher, recommended unsuitable investments and executed excessive trades. The complaint settled for $64,500.
If you have complaints regarding Robert Shirley, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.